SEC Form 4 · accession 0001054374-15-000023
BROADCOM CORP · BRCM
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Henry Samueli
Officer — Chairman of the Board & CTO · Director
Period of report
Feb 5, 2015
Accepted (ET)
Feb 9, 2015 · 5:34 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001054374
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Class A common stockF2 | Feb 5, 2015 | F | 14,058 | $44.31 | D | 415,771 | D | |
| Class A common stockF3 | holding | — | — | — | 56,912 | I | See Footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The shares were withheld by the Issuer in satisfaction of the withholding taxes incurred in connection with the vesting of restricted stock units previously awarded to the Reporting Person. The withholding of the shares is an exempt disposition pursuant to Rule 16b-3(e) of the Securities Exchange Act of 1934, as amended.
- F2Includes (i) 34,679 shares that are held as Class A common stock and (ii) 381,092 shares in the form of restricted stock units that will entitle the Reporting Person to receive one share of Class A common stock per restricted stock unit.
- F3Held by H&S Investments I L.P., an entity owned by the Shiloh Trust, for which trust the Reporting Person is co-trustee and co-beneficiary.